Our Staff has compiled our research into a database of FINRA Broker Disclosures for UBS Financial Services Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Wesley Day Tate | 1208564 | 2 | 01/11/1995 | Customer Dispute | Award / Judgment | $13,900,000.00 | $400,000.00 | See FINRA Report |
| Gregory James Holbrook | 1810916 | 1 | 01/06/1995 | Customer Dispute | Settled | $467,208.00 | $0.00 | See FINRA Report |
| Richard Ivan Greenspan | 1130269 | 7 | 01/04/1995 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| M Kenneth Witover | 470730 | 4 | 01/01/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Holly Lee Hendrix | 836958 | 10 | 12/31/1994 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Gary Dean Roth | 734329 | 3 | 12/28/1994 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Terrance John Nugent | 1571310 | 3 | 12/28/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Edward Y Tom | 1655996 | 5 | 12/05/1994 | Customer Dispute | Settled | $35,132.00 | $0.00 | See FINRA Report |
| James Edward Ducey | 1249644 | 4 | 11/29/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Rick James Link | 1078358 | 1 | 11/21/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |